Water-Related Ecosystem Services of Forests: Learning from Regional Cases

PART II – Chapter 27

Water-related ecosystem services of forests: Learning from regional cases

Convening lead author: Bart Muys

Lead authors: Jan Nyssen, Ben du Toit, and Enrico Vidale

Contributing authors: Irina Prokofieva, Robert Mavsar, and Marc Palahi

Abstract: Forests are widely recognised as recommended land cover for protection of water resources. It is commonly understood that forests control erosion, improve water quality and regulate water flows in catchments to some extent. Less-well understood are aspects of the so-called green water flow: biomass production in forests has a price locally in terms of evaporative water losses though it can provide rainfall elsewhere. In this chapter, we discuss the complex and sometimes contra-intuitive issues that emerge when trying to optimise forest management for water-related ecosystem services. We analyse three cases in very different geographical and socio-economic settings where the water-related ecosystem services of the forest have been a driver for forest management transition. In the first example from Ethiopia, forests are restored for soil and water conservation purposes related to green water, while in the second case in South Africa, plantation forests are removed with the intention of ecological restoration and increase in blue water availability. In the last case from Italy, we discover that schemes for payment for ecosystem services (PES) make a change with respect to water-related ecosystem services. The case studies show that such transitions can follow very different pathways, determined by the biophysical, socio-economic, and institutional contexts. But despite these differences, the case studies show patterns in common. The success or failure of management policies is highly scale-dependent (extension and intensity of the intervention). Changes aimed at improving an ecosystem service always show trade-offs with other ecosystem services. Often, measures in catchments are based on a correct interpretation of hydrological knowledge but fail to optimise for the range of upstream and downstream ecosystem services at stake. The main challenge for the future is to further foster the ongoing paradigm shift in the way water-related forest ecosystems services are considered, with a change from supply-side policies to demand-side policies and supply-demand linkages and from purely technical solutions to green infrastructure solutions.

Keywords: Blue water, green water, South Africa, Ethiopia, Italy, water tax, exclosure, payment for ecosystem services

27.1 Introduction to water- supported by available data. Forests may increase low flows but in most cases they decrease them related ecosystem services (Jackson et al. 2005, Birot et al. 2011). For a better understanding of the hydrological cycle, distinguish- resh water is becoming a scarce global resource ing between blue and green water (Falkenmark and Fof strategic importance (Duda and El-Ashry Rockstrøm 2005, Birot et al. 2011) is very useful. 2000). In this context, the regulating role of forests Blue water resources are formed by the rainfall frac- has been recognised (de Groot et al. 2010), although tion that reaches rivers and lakes after percolation 423 the sponge model – the general belief that forests into the aquifers or directly as surface run-off. Hu- store water in the rainy season to slowly release it mans strongly value the quantity and quality of blue in the dry season (e.g. Hamilton 1985) – is not much water, as it forms the main source for drinking water,

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

Table II 27.1 Overview of the main water-related ecosystem services of a forest.

ECOSYSTEM SERVICES (ES) MAIN WATER-RELATED ES OF A FOREST (Green water services in bold, blue water services in italic, green/blue water services underlined)

Supporting services (S) Canopy interception, Evapotranspiration

Provisioning services (P) Irrigation water provision, drinking water provision, fish production, wood production

Regulating services (R) Flood regulation, climate regulation, erosion control, water purification

Cultural services (C) Recreation, ecotourism

irrigation water, hydropower, and recreational activi- To consider trade-offs between green and blue ties. Green water resources are formed by the fraction water use, the ecosystem services framework pro- of rainfall that does not leave the ecosystem through posed by the Millennium Ecosystem Assessment percolation or surface run-off. It may infiltrate into (MEA 2005) can serve as an excellent basis. MEA the soil and become available for uptake by plants. (2005) considers supporting, provisioning, regulat- The green water flow is the evapotranspiration of this ing, and socio-cultural services. Table II 27.1 shows green water resource into the atmosphere. Precipita- the water-related ecosystem services in each of these tion water intercepted by vegetation canopies forms categories. Based on the aforementioned blue and part of green water resources, and its evaporation is green water definitions, we can now distinguish a green water flow. The green water flow includes between blue water services of the forest (here de- the evapotranspiration from blue water resources as fined as ecosystem services provided by the forest, well, such as irrigation water used by crops and the related to the availability and quality of blue water so-called virtual water incorporated in imported and resources), green water services (here defined as exported products like wood, food, and feed (Allan ecosystem services provided by the forest, related 1998). to the availability of green water resources or the Compared with other land uses, forests typical- existence of green water flows), and green/blue ly have larger green water and smaller blue water water services providing both (Table II 27.1). As fractions, which means that afforestation generally a supporting ecosystem service, evapotranspiration decreases blue water quantities and deforestation in- is the driving process behind green water flows, but creases them. Today there is a dominant blue water water interception by vegetation canopies is also an paradigm that considers green water flows and thus important process that will, for example, diminish the very existence of forests as a water loss. But the erosive power and influence the quality of pre- this paradigm largely ignores the important ecosys- cipitation water. Wood production is a provisioning tem services related to green water flows, including service of the forest typically linked to green water biomass production, erosion control, and nutrient flows, except when the water transpiration by the retention (Birot and Vallejo 2011). Recent research plant originates from irrigation water. Water puri- has quantified the essential function of green water fication is both a green- and blue-water regulating flows for precipitation recycling and relocation over service, as both vegetative processes by canopies and continents (Keys et al. 2012). roots and filtering processes in the lithosphere and Both blue and green water flows are essential for surface waters can have a purifying effect. sustainable catchment management. There is a direct In this chapter we discuss the complex and some- trade-off between green and blue water use, and de- times contra-intuitive issues that emerge when trying velopment in either direction (blue water maximisa- to optimise forest and land management for water- tion by, for example, impeding forest restoration, or related ecosystem services. To do this, we analyse green water maximisation by establishment of fast- three cases in very different geographical and socio- growing exotic tree plantations) has tangible effects economic settings where the water-related ecosys- on the other. For this reason sustainable management tem services of the forest have been the driver for a 424 of river catchments must take an integrated approach transition in forest management or conservation. In in which the ecosystem services of upstream (terres- the first example from Ethiopia, forests are restored trial) and downstream (aquatic) ecosystem services for soil and water conservation purposes related to are considered together (Maes et al. 2009). green water, while in the second case in South Af-

FORESTS UNDER PRESSURE – LOCAL RESPONSES TO GLOBAL ISSUES 27 Water-related ecosystem services of forests: learning from regional cases 27 WaTER-related ecosystem services of forests: learning from regional cases

Figure II 27.1 Map of the study area in Tigray, Ethiopia showing the six major land-use and cover-change trajectories for 1972–2000, indicated by different colours (after de Mûelenaere et al. 2014. ©Reprinted with permission from John Wiley & Sons, Inc.

rica, plantation forests are removed with the intention temperate climate than would normally be associ- of ecological restoration and increase of blue water ated with the latitude. Average yearly rainfall ranges availability. In the last case from Italy, payment for between 500 and 900 mm/year, with a uni-modal ecosystem services (PES) schemes make a change pattern. Time series analysis of annual precipitation with respect to water-related ecosystem services. shows that although the succession of dry years in the Ethiopian highlands between the late 1970s and late 1980s produced the driest decade in the previous 27.2 Soil and water century, there is no evidence for a long-term trend or change in the region’s annual rain regime (Nyssen conservation: the case of et al. 2005). The dominant land use is small-scale exclosures in Tigray, Ethiopia rain-fed subsistence agriculture, for which the main constraints are inadequate soil water and excessive 27.2.1 Biophysical setting and soil erosion. Exclosures are forests under develop- relevance ment but, at present, in terms of tree height and crown cover density, they may not all meet the requirements of the forest definition of the Marrakech Accords of In the highlands of Tigray, exclosures (areas closed the United Nations Framework Convention on Cli- for animal grazing and biomass harvesting, see Aerts mate Change (UNFCCC) (Verchot et al. 2007). The et al. 2009) have been established on former degrad- current character of exclosures ranges between open ed lands (barren lands including communal grazing savannah and bushland (Figure II 27.2), depending lands on steep slopes) with the aim of forest restora- on the time since exclosure establishment and the tion and land conservation. Tigray lies in the north vegetation status at establishment. 425 of Ethiopia between 11° and 14° N (Figure II 27.1), By 1980, forest resources had strongly decreased and much of the land has an elevation between 2000 in the area, and only two large forests remained and 2800 meters above sea level, which offers a more (Desa’a and Hugumburda) (Kassa 2013). At a re-

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

Figure II 27.2 Exclosures dominated by Juniperus procera (left) and eucalyptus plantation (right) at Amba Alage pass. ©Jan Nyssen

Figure II 27.3 Riverine trees have been allowed to grow and eucalypts planted in the upper Ilala gorge, between 1973 (left) ©Larry Workman and 2008 (right) ©Jan Nyssen.

gional scale, the supply of forest ecosystem services cover may, however, mainly be qualified as bushland had come to a very low level, but the large-scale (43% in 2000), compared to 2% forest and 4% euca- establishment of exclosures has given a decisive im- lyptus plantations (de Mûelenaere et al. 2014). Not 426 pulse to forest restoration. Interpretation of satellite only in the formally established exclosures but even imagery shows that between 1972 and 2000 there elsewhere, trees are now much better respected than was an increase in vegetation cover in 16% of the before (Figure II 27.3), and it is generally considered area and a decrease in 7% of the area; the vegetation socially unacceptable to cut a mature tree. Multipur-

Figure II 27.4 An exclosure located on earlier marginal farmland in Dogu’a Tembien (Tigray). ©Josef A. Deckers

pose trees outside forests have a major ecological and ers. It decreased the pressure on hillslopes, where socio-economic role in northern Ethiopia. Some of exclosures could then be established (Lanckriet et the main functions they have are erosion control, pro- al. 2014) (Figure II 27.4). Activities related to the vision of wood and non-wood products, and a seed management of exclosures (guarding, forest manage- source for forest rehabilitation (Reubens et al. 2011). ment in rare cases, and economic activities such as In terms of water relationships, exclosures sig- beekeeping, cut and carry of grass, etc.) generate in- nificantly decrease surface run-off and increase water come for community members. Equity is considered infiltration in the soil. Reports from villagers and when the villages establish rules on sharing harvested observations also suggest re-emergence of springs, grass from these areas – in some cases, all the grass offering opportunities for irrigated vegetable gar- is harvested collectively and shared; in others, every dens and improved drinking water supply, which household may send one person to harvest or the would suggest increased percolation and improved livestock owners may do so. baseflow. Translated into water-related ecosystem services, exclosures mainly support forest biomass growth, drinking and irrigation water, and improved erosion control. 27.2.3 Institutional setting

After the terrible episodes of war and hunger in the 1980s, the northern Ethiopian highlands were left 27.2.2 Socio-economic setting more degraded and deforested than ever. The regional government then compelled local communities to The extreme degradation of the Ethiopian environ- set aside degraded grazing lands for restoration pur- ment, including soil erosion, is the consequence of poses. It should be noted that international policies drought, war, and famine (Stahl 1990). The estab- and institutions have been of minor importance in the lishment of exclosures is one of the major initia- development of exclosures and their management. tives of post-war relief and rural reconstruction. A The essence of exclosures is the implementation of land tenure regime introduced in the 1980s has led new local laws (serit in the local Tigrinya language) to an approximate equalisation in size of landhold- over a piece of land that makes its free use illegal. ings among households (Hendrie 1999). The estab- Guards paid by the community, or sometimes by lishment of exclosures was made possible by this NGOs, enforce these local laws, fining trespassers 427 important land-tenure change in which large feudal or sending them to local courts. In order to decrease agricultural lands in the valley bottoms and other pressure on these newly available wood resources, lower-level areas were shared among local farm- there is a ban on wood transport between districts,

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

Figure II 27.5 Partial view of the Mesebo escarpment in 1973 (left) ©Larry Workman and in 2008 (right) ©Jan Nyssen.

though there is pressure from urban politicians to 27.2.4 Changes to landscapes and soften such restrictions. Forest products such as fire- livelihoods wood cannot be collected; permission to collect dry wood tends to be abandoned since this led to intense illegal debarking of trees. Trapping of wildfowl is An evaluation of environmental changes using re- illegal but is sometimes carried out. Collection of peat landscape photographs taken in the dry sea- wild edible fruits or medicinal plants is generally sons of 1975 and 2006 concluded that the overall discouraged since it can easily be used as a pretext situation has improved with respect to vegetation for illegal cutting of grass. The major non-timber use cover on non-arable land, as well as grass and shrubs is the installation of beehives, either by cooperatives, between cultivated farm plots. Whereas the popula- individuals, or private companies in or at the edge tion of Ethiopia has increased from 35 to 87 million of the exclosures. between 1975 and 2012 (FAOSTAT 2013), overall Ethiopian national and regional governments vegetation cover (Figure II 27.5) has improved in the invested large amounts of money in land rehabili- study area. These changes are not climate-driven but tation, mainly through building of erosion-control instead are the result of human intervention (Nyssen structures called stonebunds, inside the exclosure et al. 2009). areas. Most of the work is done by farmers through The interventions leading to these changes in- food-for-work programmes. The effectiveness of corporate an implicit landscape-level approach, but these investments has been proven (Descheemaeker there is little conceptual background available or et al. 2006a, 2006b). Further, through the Bureau of published. A few studies (e.g. Balana et al. 2010) Agriculture and the Relief Society of Tigray (REST), tried to optimise exclosures and other land use at a relief organisation supported by regional politi- the landscape level, but there is so far little imple- cians, there is quite an impressive structure of ex- mentation of such land-use optimisation exercises. tension workers, training initiatives, and such. The Socio-economic studies using large randomised main topics addressed in these initiatives are both questionnaires over all social layers of communi- technical and managerial. Main policy lines have ties revealed that grazing lands and exclosures play been food security, poverty reduction, soil and water a significant role in the rural livelihoods of northern conservation, and land management. At the regional Ethiopia (Balana et al. 2008). Exclosures support level, the policies concerning exclosures for soil and the survival of traditional uses by avoiding local water conservation and the idea of commercial for- extinction of tree and shrub species. Environmental estry in exclosures are not well-matched and are not benefits exist in terms of soil and water conservation, consistent. Community exclosures are initiated by in particular gully erosion control and downstream the Bureau of Agriculture and commercial forestry protection from flooding, which has been quantified is an initiative of REST. Also, the policies for ex- by Nyssen et al. (2008) and Balana et al. (2012). closures and those for management and conserva- The improved marketing of non-wood forest prod- tion of national forests, such as the Desa’a remnant ucts from exclosures, such as honey or frankincense, forest on the Rift Valley escarpment, are not really has been promoted and supported by governmen- coordinated, since protection of exclosures seems to tal and non-governmental initiatives. Other values, 428 cause increased pressure for woodfuel harvesting in such as the soil and water conservation value, have the national forest. been scientifically quantified (Descheemaeker et al. 2006a, 2006b, 2006c, 2009; Balana 2012) but remain unconsidered externalities. This should change since

the government and the electric company have a huge 27.2.6 Lessons learned and vested interest in decreased siltation of reservoirs recommendations used for hydropower production. Exclosures are a very cost-effective measure for erosion control and soil fertility restoration. Although centrally imposed, the establishment and So far, most exclosures are closed for wood har- implementation of exclosures is rather bottom-up. vesting and as such have not faced the challenge Participation is enhanced by the implementation of to develop wood markets. Illegal harvesting from remunerated soil and water conservation (SWC) and exclosures has a certain impact on the firewood and plantation works. Location, area, local laws related charcoal market, but this is difficult to quantify. to restrictions and management, and instalment and About 2000, there were attempts from the regional payment of guards are most often decided by the government to link exclosure activity to commercial local village (kushet) authorities, who follow guide- forestry development. Enrichment planting and even lines set by the local Bureau of Agriculture. Such monocropping with commercial (mostly eucalyptus) land management decisions are then included in local trees in exclosures was initiated with food-for-work laws. Overall, villagers are convincingly participat- programmes. The long-term goal was to produce in- ing in reforestation and other conservation activities dustrial roundwood for construction poles and a local (Kumasi and Asenso-Okyere 2011). chipwood factory and hence contribute to industri- Pressure on the land remains high. Exclosures alisation. This project created, among other results, occupy only part of the communal land, and there uncertainty among commoners concerning the own- is generally no competition with cropland because ership of the trees and the land tenure. Today these sites are marginal, but competition with grazing land trees are being harvested for the first time, and the remains. There is also illegal wood harvesting. This wood is transported to a chipwood factory in May- is the reason why there is interest in and pressure to chew (see Figure 27.1). Trees were taken without identify new types of income from exclosures such payment to local communities, which only benefited as cut and carry, haymaking for stall feeding, grass from labour opportunities and from the opportunity for thatching roofs, beekeeping, restricted wood to buy branches at a cheap price. harvesting, or even payment for ecosystem services such as reduced sediment flow to dams or carbon sequestration (not operational so far). Another option would be a rotational system where new parts 27.2.5 Monitoring and research of the communal land sequentially go through this phase of ecosystem restoration, to be released later There is no formal monitoring of exclosures by the for regulated sustainable use. The potential (legal or Ethiopian government. A monitoring programme illegal) harvest levels and the dimensions of harvest- combining remote-sensing approaches with ground able wood increase as exclosures mature. If managed inventory would be very relevant. Limited remote- well, they can provide sustainable wood harvest in sensing exercises have shown the feasibility and combination with extensive levels of grazing or cut relevance of this approach. Participatory monitor- and carry of grass. ing on the ground has not been implemented so Local communities invested long term in this far but is an interesting option for engaging and large-scale restoration project. Restoration effects empowering locals in the restoration and sustain- become visible, and communities’ expectations are able use of their resources. Though there was not rising as they see some benefits returning to the an official scientific follow-up of the exclosure pro- community. Local authorities now face the chal- gramme, many scientific studies, largely involving lenge of moving from strictly closed areas to areas the Forestry Department of Mekelle University and with certain use rights, remaining within the limits of often in the framework of international academic sustainable use. In the current phase there is tension cooperation programmes, have been produced. Some between stakeholder expectation and authorities’ fear focused on the vegetation dynamics and the role of of a new tragedy of the commons. At this stage, de- silvicultural intervention (Aerts et al. 2007, 2008a, velopments are too recent to establish whether the 2008b; Aynekulu et al. 2009, Reubens et al. 2011). Tigray highlands are undergoing a forest transition, Others focused on the improved erosion control meaning that changes in population density are no and water infiltration (Descheemaeker et al. 2006a, longer inversely coupled to changes in tree cover. 2006b, 2006c, 2009) and still others on the socio- The shift from deforestation to reforestation is still economic impact of exclosures on livelihoods and patchy in nature, but several elements inducing the related governance issues (Balana et al. 2008, Lan forest transition are present in the study area: increas- 429 ckriet et al. 2014). ing population, increasing food production, forest scarcity, zoning of forestry land (exclosures), and expansion of forest (eucalyptus) plantations (Nys-

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

sen et al. in prep.). In any case, this future depends major river systems of the province, irrigated agri- on the type of management rules and management culture consumes approximately 87%, 42%, 68%, plans that result from ongoing discussions between and 61% of the total water supply, respectively (DEA government and local communities. The challenge and DP n.d.). is to find the balance between sustainable use and In terms of water relationships of the Cape for- protection. Experiments of self-organisation with est resources, there is scientific evidence that forests bottom-up participatory management plans should reduce stream flow in this semi-arid environment. be welcomed. The stream flow reduction resulting from the historical pine afforestation of about 80 000 ha of some of the wetter scrubland (known as fynbos) areas in the province was calculated to be 1.96% of the 27.3 Trade-offs between blue total run-off in the province’s catchments (Scott et al. 1998). Calculations based on the work of Gush and green water ecosystem et al. (2002) estimate the stream flow reduction as services: the case of forest 1.06% of the annual total before afforestation. This plantations in the Western number would fall to a value of between 0.8 and 1.3% of the total run-off following deforestation of Cape, South Africa approximately 30 000 ha of plantation forest (based on work by Scott et al. 1998 and Gush et al. 2002) 27.3.1 Introduction and relevance – i.e. if the Cape conversion process is partially re- versed, thus allowing some 50 000 ha of plantations South Africa is a dry country sparsely endowed with to remain. So in terms of water-related ecosystem forests. It has a hydrological regime that is extremely services, plantation forests provide wood production variable among seasons and years, and the annual as a major green water service, with stream water run-off coefficient varies between 0.1% and 11.4% reduction as a relevant but regionally limited blue for the major catchments, with a country-wide av- water disservice. erage of 8.6%. It is clear, then, that South Africa is a country where blue water resources are under pressure. As a consequence, water use has become strongly regulated, particularly with regard to indus- 27.3.2 The extent and condition of trial afforestation activities. Large parts of the West- forest resources and their contribution ern Cape Province have a Mediterranean climate, to livelihoods where the rainfall seasonality provides additional challenges with regard to water supply for urban use and for irrigated agriculture. The climate and associ- Only a small portion of South Africa (approximately ated fire regimes also place limits on the size, extent, 0.5 million ha, or 0.4%) is covered by closed can- and growth rate of forests. The south-eastern section opy forests, in addition to the 29.3 million ha of of the province enjoys more abundant rainfall in all woodland in the northern and eastern parts (24% seasons and this is where the largest concentration of the country). The plantation forest industry cov- of natural forest patches and planted forests occur, ers 1.26 million ha and is responsible for the bulk in a mosaic pattern in the landscape. of the country’s commercial roundwood production The population in the Western Cape Province (19 million m3/year), mainly from stands of exotic is approximately 5.3 million people (Statistics SA Pinus and Eucalyptus species (FSA 2010). There are 2011) and is still growing. The steady increase in three large categories of tree and forest cover in the the population and in the economy is a concern with Western Cape Province: indigenous forests, exotic respect to available water in the area. Unemployment tree plantations, and invasive thickets of introduced in South Africa is high compared to developed coun- trees. Their main features and their contribution to tries, with official estimates of about 25±1% for the livelihoods follow. past two years (Statistics SA 2011). Agriculture is a The indigenous Western Cape Afro-temperate very important land use and employment provider forest type is confined to very small pockets along in the Western Cape. The main agricultural products river valleys and on south-east facing slopes with (in decreasing order of value earned) are fruit, win- relatively high precipitation, surrounded by scru- ter grains, white meat, viticulture, and vegetables. bland (fynbos) vegetation. The Southern Cape Afro- The province contains 12.4% of South Africa’s ag- temperate forest (south-eastern part of the province, 430 ricultural land and it produces 23% of the country’s extending into the adjacent Eastern Cape Province) is agricultural gross domestic product (GDP) (WCDA made up of a mosaic of fairly large blocks of forests, 2005), despite challenges posed by drought, rainfall roughly situated in a strip between the ocean and seasonality, and irrigation water supply. In the four the mountain ranges. The extent of the Western and

Southern Cape Afro-temperate forests is 4700 ha these plants by introduced insects is well-established and 68 600 ha, respectively (DAFF 2011). In addi- and teams of people have been employed in the gov- tion, the Western Cape has about 2500 ha of coastal ernment’s Working for Water (WFW) programme to milkwood forests (DAFF 2011). Natural forests thus systematically eradicate these invasive plants from ri- occupy a mere 0.4% of the land area in the Western parian zones and other areas of infestation. A combi- Cape Province. All indigenous forests in the prov- nation of very effective biological control, intensive ince have very low growth rates (less than 1 m3/ha/ utilisation, and efforts of the WFW programme mean year) and are managed primarily for conservation that this wood resource will be strongly reduced over and biodiversity purposes. The forests are also ex- the next two decades. tensively used for recreation and the provision of In summary, the Western Cape’s natural forests non-timber forest products – such as ferns, medici- are fairly well protected, but commercially used nal bulbs, tubers, bark, etc. – to local communities timber resources are shrinking rapidly – the current (Vermeulen 2009). landscape setting of forests in the Western Cape is Industrial plantation forests in South Africa have illustrated in the aerial photo in Figure II 27.6. The decreased from 1.4 million ha to 1.26 million ha most productive forests (pine plantations) have been during the past decade (DAFF 2011). Plantations greatly diminished and this will lead to large struc- (mostly pines) in the Western Cape covered more tural timber shortages in the area from 2018 onward. than 79 000 ha during the 1990s, diminishing to few- It will also strongly affect the economy of scale and er than 50 000 ha in 2013 due to government policies the processing sector that relies on these forests. A (the Cape Conversion Process, see section 27.3.3). fuelwood shortage is also forecast if concerted ef- The current industrial plantation cover in the prov- forts are not made to establish woodlots for fuelwood ince constitutes less than 0.4% of the land area, and production. the mean annual increment of individual plantations averages from 10 to 15 m3/ha/year, depending on the sub-region. The industrial forest sector is responsible for more than 95% of the timber volume purchased 27.3.3 Forest policies and governance by the wood processing industry in the country and is therefore an irreplaceable component in the local During the past two decades, several changes in for- wood value chain. One of the major benefits of the est land-tenure regimes have taken place as a result of industry is job creation in rural areas. Forestry in new government policies and legislation. However, the Western Cape Province supplies approximately evolution has also come about through voluntary 2600 direct jobs and 16 300 indirect jobs and is tied management decisions at a strategic level in com- to the livelihoods of 56 000 people. Small-scale tree mercial timber companies. Key examples of both planting of mostly exotic species on farms (for pole types are briefly discussed below. production, windbreaks, fodder, firewood, general The Afforestation License System (National Wa- utility timber, shade provision, and honey bee forage) ter Act, Act No. 36 of 1998) replaced the afforesta- is common in all but the driest parts of the province. tion permit system that was in place since 1972. No Products from these forests are seldom sold commer- afforestation may be done without a license, and cially but rather used locally. For example, woodlots water use and ecological impact studies are needed to with specific eucalyptus species are essential provid- obtain a license. In addition, licensed forest growers ers of honey bee forage in the Western Cape Province must pay for stream flow reduction caused by com- (de Lange et al. 2013). The small fragments occu- mercial afforestation. This process began in 1999 pied by woodlots are not included in the industrial and the current payment cost is relatively low, on forestry area estimates previously cited. Trees also average ZAR 0.42/m3 (EUR 0.04/m3), compensating play an important role in recreational areas of cities for the water loss caused by converting indigenous and peri-urban areas. vegetation to plantation forestland. Although indus- Australian Acacia species originally introduced trial forestry is the only land use that has been classi- to stabilise coastal sands have become invasive in fied officially as a stream flow reduction activity, the several parts of the province. In particular, large con- forest industry has absorbed this cost and has largely centrations of Acacia thickets can be found on the maintained business as usual (in areas where it was West Coast plain and the Agulhas plains, with dense not limited by other policies). thickets spread over an area of more than 26 500 ha The Restitution of Land Rights Act (Act No. 22 (van Laar and Theron 2004a, 2004b). Several zones of 1994) entitles a person or community dispossessed of less dense infestation (< 10% crown cover) also of property after June 19, 1913, as a result of past occur. These invasive tree thickets have been and are racially discriminatory laws or practices, either to 431 currently being used extensively for fuelwood in the restitution of that property or to equitable redress. A urban and peri-urban areas around Cape Town (du complication is that current owners of forest estates Toit et al. 2010). In addition, biological control of often own land that has been legally and legitimately

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

Figure II 27.6 Aerial photograph showing land-use patterns near the town of Grabouw, Western Cape Province (34°9’5 S, 19°0’54 E). Note the productive plantation forests planted outside of the riparian zone (bottom left), irrigated fruit orchards (bottom right), mountain land with indigenous fynbos vegetation that had been recently burned (top right), and formerly productive plantation forest currently clear-felled and not replanted because of the Cape Conversion Process (top left). ©Anton Kunneke

bought (willing buyer and seller) between 1913 and relatively low productivity of these forests (approxi- the present day on which such land claims are now mately 10 m3/ha/year), compared to other planta- being made. To date, the land redistribution process tions in the high rainfall zones of the country and the has progressed slowly because many landowners notion that these forests may not be commercially are not willing to sell. This has moved the govern- viable in the future. A report (VECON 2006) has sub- ment to consider other possible avenues such as ex- sequently shown that the original assumptions were propriation of the land, although this has not been inaccurate and that many of these plantations are in implemented. fact economically viable. In 2006, on the strength of The Cape Conversion Process, which calls for this report, the cabinet made a decision to partially the partial cessation of commercial forestry activities reverse the Cape Conversion Process decision and in the Western Cape Province on state-owned land, to allow renewed planting of approximately 22 500 was approved by the cabinet of the South African ha of the original 45 000 ha earmarked for conver- government in 2001; it applies to some 45 000 ha sion. The bulk of this land is largely unsuitable for of plantations in the province. After implementa- other intensive land-use activities such as fruit or 432 tion, reforestation following clear-cutting was thus wine production. However, no reforestation has been prohibited in these commercial plantations, which done in these areas to date because no decision has led to large-scale deforestation in the Western Cape. been made on who should be allowed to do the re- The main driver in this conversion process was the forestation.

During the past two decades, many forestry com- ments that are already threatened by severe water panies have embarked on a voluntary process to ob- shortages. However, in catchments where significant tain third-party forest certification and to demarcate volumes of unused water is available, afforestation wetlands on their landholdings by permanently re- licenses could be granted, as assessments showed moving all plantation trees that had been established that more than 100 000 ha of land is suitable for in such areas. These wetlands are thus converted back afforestation in the Eastern Cape Province alone. to indigenous vegetation to ensure minimum impact However, during the past decade, there has been no on the county’s water resources – it has been estab- significant growth in new afforestation in South Af- lished that trees in riparian zones and wetlands use rica. In fact, the industry has shrunk in size due to a disproportionately large amounts of water. lack of new afforestation coupled to the conversion The Conservation of Agricultural Resources of some areas out of timber for environmental rea- Act (Act No. 43 of 1983) targeted invasive plants. sons (DAFF 2011). Poorly prepared applications as It allowed for the categorisation of exotic plants in well as some administrative bottlenecks delayed the terms of their invasiveness, among its other regula- processing of afforestation licenses. tions. This paved the way for large-scale clearing of The third example is the Restitution of Land thickets of invasive plants through the Working for Rights Act, which aims to redress inequalities from Water programme since 1995. In South Africa as a past regimes but which has potentially disastrous whole, more than a million ha of invasive plants have long-term consequences for forestry, agriculture, been cleared to date, providing jobs to 20 000 people and the country at large if not managed well. There (WFW 2012). Approximately one-tenth of this effort are many southern African examples showing that was focused on the Western Cape. This has produced few beneficiaries of land claims on agricultural land more stream flow from rivers and supplied harvested have to date managed to continue with economically biomass during the clearing operation. Strict follow- sustainable farming or forestry practices (Dardagan up measures are in place to prevent invasive plants 2012). Many forced land transfers have led to subsis- from re-colonising the cleared areas. tence agriculture, which is much less productive than the commercial farming or forestry that it replaced. As such, the Land Restitution Act is perceived by the commercial forest processing industry as a threat 27.3.4 Antagonistic consequences from because it could strongly compromise the long-term changes in policy and governance security of raw material supply in the forestry value chain. The privately owned forest industry has therefore embarked on a voluntary land redistribution Processes that led to business uncertainty or undue scheme, which is structured as follows: land owner- delays in decision-making have caused the com- ship is voluntarily transferred to local communities mercial forest industry to stagnate or even shrink but leased back to the industrial forestry grower- slightly during the past two decades, with negative processor for two crop rotations, along with strong consequences on the livelihoods of people in the technological support and extension services made forestry and forest products value chain. available to new landowners. In return, 1) industrial The first example is the Cape Conversion Pro- forestry is allowed to continue on the land for at least cess. More than 20 000 ha of plantation land that two rotations, and 2) the industrial partner has the had been clear-felled since 2001 is currently still first option to buy both the first and second rotation unplanted, despite the fact that the cabinet approved of timber produced from plantations on such estates partial reversal of the process and that the interna- (at market-related prices). The owner can sell the tional investment company that bought the major timber on the open market if the industrial company shares in the local lease holding for this land offered that transferred the land does not exercise its right to investment money and a partnership with the govern- buy the timber. Pilot-scale land transfers under this ment for the reforestation. This process is currently scheme have already taken place (SA Forestry 2010) leading to unemployment in the Western Cape rural and it appears to be a more workable solution than areas (De Beer 2012) and it has created a gap in the forced land redistribution. This land-transfer process, normal forest age class distribution of at least 12 coupled to the out-grower schemes that are already years – up to 20 years in some areas. This means in place (i.e. technical assistance and support for that the next leaseholder of the land will effectively previously disadvantaged tree growers – see Cairns have to start a “green fields” afforestation programme 2000) is starting to make an impact on redressing from scratch if forestry is allowed to continue to be inequalities from past discriminatory laws. practised on this land. 433 The second example is the afforestation license system (on a national level). It is recognised that afforestation cannot be allowed to increase in catch-

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

27.3.5 Positive consequences from The creation of ecological corridors in the land- policy and strategic management scape ensures that indigenous plants and wildlife decisions continue to prosper. Ecological corridors are large networks of natural vegetation that are linked with each other like a web in order to maintain biodi- The consequences described in this section stem versity and ecological processes. They are usually from a mixture of government policies and strategic constructed around water courses, where legislation decisions by industrial forestry growers-processors dictates that no commercial afforestation may take including voluntary forest certification, the govern- place closer than 20 m from rivers courses. However, ment’s support to the WFW programme, and the in many cases these riparian zones are widened over creation of ecological corridors in the landscape. and above what the law stipulates (especially around The strategic (voluntary) decision by many wetlands), and these areas are also linked to addi- private forest growers to certify plantation forests tional patches of natural vegetation for biodiversity as being managed under sustainability criteria has conservation, gene flow, and maintenance of ecosys- led to a more conciliatory management style that tem services. These networks are also important for is more in harmony with nature, while at the same livelihoods and spiritual well-being and water quality time opening up new potential markets. Examples (Samways et al. 2010). Approximately 30% of South of positive management outcomes are strong re- African plantation forestry estates consist of natural strictions on the use of intensive fires during slash vegetation in the form of ecological networks. burning, voluntary conversion of land out of timber where trees were planted in places that encroached on wetlands or riparian zones, improvements in the working conditions and safety of employees, and 27.3.6 Synthesis and recommendations strong restrictions on the type and use of chemicals in plantation forests. South Africa is a water-scarce country that has lim- The WFW programme, where unemployed ited areas of natural forests with generally very low people are trained to assist with clearing of invasive growth rates. These forests are well-protected, so thickets, has been a successful policy. It has cre- that the country is very reliant on industrial planta- ated many temporary jobs and provided training for tion forests (and to a lesser degree on agroforestry people while also leading to improved stream flow and woodlots) to provide sufficient fibre and timber in cleared areas. The clearing of invasive thickets has for the country’s commercial needs. If the industrial a much greater effect on stream flow than limiting forestry sector is disadvantaged, it thus has imme- industrial plantations. This is because plantations diate and serious implications for the economy (in are not allowed (by law) to be planted within 20 m particular the wood processing sector), employment, of any perennial stream, whereas invasive thickets and foreign revenue earnings. During the first de- often occur in riparian zones, wetlands, and the upper cade of the newly elected democratic government, reaches of non-perennial streams. The Conservation 1994–2004, industrial forestry interests have not of Agricultural Resources Act has had mostly posi- been well-nurtured by the (then) Department of tive consequences, but there have been some notable Water Affairs and Forestry, causing the industry to exceptions. The legislation categorises introduced stagnate or shrink in certain regions. From the ex- plants as category 1 (declared weeds), category 2 amples given, it appears that many of these negative (invasive plants with economic potential that can be consequences are reversible if the government allows grown in demarcated areas), and category 3 plants private industry to work in partnership with them. (invader plants that can be left to grow where they The movement of the entire forestry portfolio to the exist). The spirit of the legislation was to place non- newly formed Department of Agriculture, Forestry, invasive exotics in category 3, therefore the labelling and Fisheries (DAFF) has brought some hope of a of these plants as invaders rather than introduced better dispensation, but much still remains to be done plants or exotics is unfortunate. Secondly, category 2 to ensure growth and prosperity in the forestry sector, plants cover a very wide spectrum, from aggressively particularly in industrial forestry. The following is- invasive (but with economic potential) to effectively sues should be addressed through strong partnership non-invasive (but still exotic) with economic poten- between government and private industrial forestry tial. Virtually all introduced commercial plantation companies: species have been lumped together in this category. A reclassification of several species is needed and more 434 specifically, a classification of the hybrids of these species (which appear to be mostly non-invasive) needs to be done.

◆ Land restitution should proceed in a way that 27.4 Drinking water provision ensures a continued supply of timber from plan- from the forest: a case from tation land. Alienation of the industrial forestry sector in this process by relying on forced land northern Italy redistribution could have severe socio-economic drawbacks. 27.4.1 The institutional setting ◆ Government agencies would need to become more sensitised to the fact that industrial forestry Water quality and quantity have been a core issue provides sustainable livelihoods and economic in European environmental policies of the past few stimulation in rural areas and does this while decades. Although policy-makers have considered having a relatively small impact on stream flow tap-water use as a priority with regard to other uses, reduction. For example, removing all industrial it has not been clearly addressed in the legal system forests would hardly contribute to the run-off in implemented among the European countries. Nev- the Western Cape’s streams but would have major ertheless, efforts coordinated by the European Com- consequences for employment, timber processing, mission have posed a kind of hierarchy on water uses, and wood supply in the province. It would also in which water for human consumption has been impact negatively on carbon sequestration and considered essential, together with the environment, soil conservation. The water gains from clearing in the water catchment (Aubin and Varone 2004). of invasive thickets and the regulation of waste- This has been formalised in the European Water ful water use in some irrigation and urban usage Framework (WFD) 2000/60/EC, as the final result areas is potentially much larger than water gains of a long conceptual process related to water use. from phasing out plantation forestry in the West- Since then, several European countries have started ern Cape Province. to adapt their legislative systems based on the main ◆ Further improvements in speed and efficiency of principles of the directive. The planning of water the afforestation license procedure are essential service costs and the principle of full recovery of the to create a favourable investment climate for for- cost of water service have been two major economic estry. It is striking that several licenses allowing changes pushing policy-makers to consider the cost large-scale surface coal mining and exploratory of environmental conservation in the catchment fracking of sedimentary layers for shale gas have areas. Despite the traditional top-down approach, been issued in South Africa during the past five where a set of legal constraints were implemented, years (both unsustainable enterprises with heavy the aim of the WFD was the active promotion of carbon footprints), while afforestation licenses (a market-based mechanisms to enhance the provision green investment) have been stagnating partly due of high water quality though particular land manage- to administrative bottlenecks. ment practices. Basically, the need to move from ◆ A more relaxed view on tree planting on farms is command-and-control approaches to market-based necessary. Allowing the establishment of small- mechanisms has been the formal recognition of the scale woodlots for fuelwood, bioenergy, poles, concept of equality along the tap-water supply chain. honey bee forage, and all-purpose timber, by using This has brought the landowner into the picture as land with low potential for agriculture, holds a lot the first, though weakest, actor in the chain. of promise for relieving the looming shortage of In Italy, the concept of environmental cost along timber, fibre, insect pollinator, and energy. To do the tap-water supply chain was introduced by Galli’s this, the licensing system for afforesting small Act (Law 36/94). Instead of implementing new le- areas (e.g. less than 10 ha) has already been made gal constraints based on a command-and-control ap- simpler, and this initiative has been very positively proach, policy-makers anticipated some of the WFD received. Such afforestation could be done using principles, introducing the concept of environmen- fast-growing species that use water efficiently and tal cost compensation, as a positive economic tool that do not pose an invasive threat. aimed to stimulate the improvement of the water ◆ Reforestation of economically viable industrial cycle between the spring and the river mouth. Galli’s plantation land is strongly recommended to avoid Act suggests the adoption of an extra payment on large-scale timber shortages in the future, unless the water bill (from 3% to 8% of the water bill) to there are other compelling reasons not to do so. compensate directly for maintenance of the upstream area (mainly forest land). But due to the high frag- mentation of private land and the historical incapa- bility to coordinate or associate landowners, the law highlighted the potential role of public authorities as 435 the only players able to manage a sufficient land surface to stimulate forest environmental services like water filtering, hydraulic regulation, or soil conserva-

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

Table II 27.2 Soil erosion and forest management practices.

year 1 year 2 year 3 year 4 Average

Silvicultural practice Erosion Erosion Erosion Erosion Erosion (kg/ha) (kg/ha) (kg/ha) (kg/ha) (kg/ha)

Coppice with clear-cut 92.2 80.5 1.1 5.6 44.8

Coppice conversion to even-aged forest 62.7 24.1 0.8 4.4 23.0

Natural evolution 5.2 2.9 1.0 1.5 2.6

Source: Bagnaresi et al. 1999.

tion. In fact, the application of some particular forest sustainability and financial optimisation. While this management practices at the scale of a cadastral land last aspect has been achieved through planning of unit (generally a few thousand square meters) would a water tariff to meet the WFD requirements of the not allow this approach to achieve tangible results. full-cost recovery of the water service, the ecological These can only be achieved if the targeted forest aspects were thoroughly studied before deciding on management is extended over a whole water catch- the strategy to be implemented in the field. ment area. Despite the law’s intentions, market-based The most important company water source is a mechanisms have only been introduced formally in dam basin located in the central Apennines (Ridraco- two Italian regions – Piedmont and Veneto – where li area – municipality of Bagno di Romagna), which an extra charge on tap-water bills has been imple- covers 50% of the entire Romagna tap-water demand mented (Pettenella et al. 2012). Both regions have (108 million m3/year). Especially during the summer used the fund, approximately 3% of the extra charge season, the basin is fundamental to the supply of on water bills, to compensate mountain areas in terms high-quality water to the coast, densely populated by of projects or infrastructure aimed to improve local tourists. Since its construction, the biggest problems forest management practices, but so far the relatively have been dam sedimentation and maintenance of small investments upstream have been insufficient high-quality water. In 1993, the company invested in to result in a significant change in water quality or research to understand the link between different for- quantity. est management practices and soil erosion as well as water quality stabilisation. In terms of water-related forest ecosystem services, four years of research have demonstrated the clear impact of forest management 27.4.2 Romagna Acque, a success story systems such as coppice with clear-cut and forest on payment for drinking water services conversion from coppice to high forest on soil erosion, while minimising silvicultural treatments or natural stand evolution markedly reduced the degree Apart from these large-scale regional schemes, Gal- of soil erosion (see Table II 27.2). li’s Act has not had a wide implementation on the In Table II 27.2 the large variability between years Italian peninsula, but it inspired Romagna Acque can be attributed to inter-annual variability in rainfall S.p.A., a multi-utility company in the central Apen- patterns but management effects are consistent over nines. It became a success story – a historical case the years, except in a year with few torrential rainfall in which a specific forest service was stimulated (year 3), where erosion is near zero for all manage- through a set of annual payments to cover the cost of ment types. Moreover, conversion to high forest and specific forest management practices undertaken by natural stand evolution have proved to have a posi- landowners. Begun as a consortium of municipalities tive influence on nitrogen reduction and pH stability. to reduce the cost of the supply of drinking water in The translation of these effects into a price for water 1966, it was able to cover the distribution of water was done by calculating the difference between the to the entire Romagna area in 1989; only a few years annual traded water and the cumulated changes of later, in 1994, Romagna Acque S.p.A. was founded, water level in the dam. Based on this evidence, an 436 becoming owner of the water resources in 2004. The extra payment, 1% to 3% of the water-bill has been principal mission of the company has been to provide used to compensate landowners who convert their high-quality water in sufficient quantity to cover the coppice forest in even-aged stands within the catch- demand of the Romagna in a context of ecological ment areas, helping them to cover the cost of changes

0.8 0.7 0.6 0.5 0.4 0.3 [million EUR] [million 0.2 0.1 0.0

Figure II 27.7 Environmental cost to limit soil erosion and enhance water quality: A single-starred year, 1% of extra payment; double-starred years, years after water-tariff reform. Source: Romagna Acque S.p.A

in management practices and land opportunity cost 27.4.3 Lessons learned (relatively low due to the scarce access). In general, more than EUR 0.6 million (see Figure 27.7) have Romagna Acque is a positive example of the envi- been delivered in the water catchment area (37 km2), ronmental services trade. The case study has high- where all but a few landowners decided voluntarily lighted both the powerful effect of the market-based to be part of the payment scheme. However, in the mechanism and the fragility of the mechanism due to year 2009 a new water tariff mechanism stopped the the unclear or fast-changing legal systems in force. company’s environmental investment due to an er- The results, though they may seem relatively small, roneous interpretation of the accounting law – it was represent an innovation in the forest sector, tradition- re-established in 2011. So far, the average payment ally managed for wood production. In this case, the to forest owners has varied from EUR 108/ha in the object of the contract was simply the adoption of first year, to about EUR 170/ha in 2008. a new management practice in a water catchment The positive impact of the payment scheme was area, ensured financially by a monopsony market – a a general decrease of the initial soil erosion in the market similar to a monopoly, where a large buyer catchment of 20% (originally 42 000 m3/year ver- instead of a large seller controls the market. sus 33 600 m3/year today) and a consistent reduction in nitrogen as well as pH stabilisation. In terms of performance, both Romagna Acque S.p.A. and the 27.5 Conclusions landowners have increased their benefits: on the one hand, the company has reduced its water purification costs and increased the life expectancy of the dam In this chapter we focused on the water-related eco- (due to the lower soil erosion); while on the other, system services of forests. In general, these eco- landowners have maintained or even increased their system services are considered very important, but annual forest revenue. Though other options were misunderstandings persist about the role of forests considered, such as mud and sand removal with in their delivery. With a selection of revealing cases, hydro dredging, the limited access to the dam basin we have shown how initiatives are taken to improve and the technical difficulties of dredging in deep water-related ecosystems services through a transi- water led the company to opt for forest investment. tion in the management of forests, such as combat- Due to the complex bureaucratic process, the com- ting water erosion by installing exclosures free of pany decided to acquire the land wherever possible. grazing, decreasing the forest cover to increase the Moreover, part of the water tariff has been invested in availability of blue water for irrigation agriculture, programmes to inform water users on the tap-water or improving tap water quality by continuous-cover use as well on the effects of the positive management silviculture. practices adopted in the catchment area. The case studies show that such transitions can follow very different pathways, determined by the natural, socio-economic, and institutional context. 437 In Ethiopia, a rather top-down approach had the ad- vantage of being widespread and having measurable impact at a regional scale but the next challenge is

PART II: CASE STUDIES 27 WaTER-related ecosystem services of forests: learning from regional cases

to motivate the commoners for the longer term. In References South Africa, a complex mixture of top-down and bottom-up storylines is resulting in rather confusing Aerts, R., Negussie, A., Maes, W., November, E., Hermy, M. & policies and lock-ins between actors. In Italy, a vol- Muys, B. 2007. Restoration of dry afromontane forest using pioneer shrubs as nurse-plants for Olea europaea ssp. cuspi- untary market-driven process has led to an interesting data. Restoration Ecology 15: 129–138. win-win situation. Aerts, R., Lerouge, F., November, E., Lens, L., Hermy, M. & But behind these differences in process, the case Muys, B. 2008a. Land rehabilitation and the conservation studies also show some patterns in common – for of birds in a degraded Afromontane landscape in northern example, that success or failure is very dependent on Ethiopia. Biodiversity Conservation 17: 53–69. 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